-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WZUqsuM03UJHHvVpnbTHM7JnFa+dYg56YeHPwdjCg/wXIoQWqAkBdliNkg4ELsJb DTXBF07RyOk2q7Mcjk9FSg== 0000728672-01-000024.txt : 20010214 0000728672-01-000024.hdr.sgml : 20010214 ACCESSION NUMBER: 0000728672-01-000024 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20001229 FILED AS OF DATE: 20010213 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SANDLER ONEILL ASSET MANAGEMENT LLC CENTRAL INDEX KEY: 0001040762 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 133906061 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: SEC FILE NUMBER: 028-07148 FILM NUMBER: 1536557 BUSINESS ADDRESS: STREET 1: 712 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2129741700 MAIL ADDRESS: STREET 1: 712 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 13F-HR 1 0001.txt FORM 13F HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 29, 2000 Check here if Amendment [ ]; Amendment Number: This amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: SANDLER O'NEIL ASSET Address: MANAGEMENT, LLC 13 File Number: 28-7148 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct, and complete, and and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form Person Signing this Report on Behalf of Reporting Manager: Name: TERRY MALTESE Title: Phone: Signature, Place and Date of Signing: TERRY MALTESE January 24, 2001 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 76 Form 13F Information Table Value Total: 97044 FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP x($1000) PRN AMT PRN CALL DISCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- -------- --------- -------- -------- -------- D ACADIANA BANCSHARES INC LA NEW COMMON STOCK 004280103 1022 58000 SH SOLE 58000 0 0 D ACE LTD COM COMMON STOCK G0070K103 849 20000 SH SOLE 20000 0 0 D ADVANCE FINL BANCORP COM COMMON STOCK 007437106 631 67300 SH SOLE 67300 0 0 D AMER HOME MTG COM STK COMMON STOCK 02660M108 499 105000 SH SOLE 105000 0 0 D ASSOCIATED BANC CORP COM COMMON STOCK 045487105 714 23500 SH SOLE 23500 0 0 D ASTORIA FINL CORP COM COMMON STOCK 046265104 4888 90000 SH SOLE 90000 0 0 D BANK NEW YORK INC COM COMMON STOCK 064057102 2759 50000 SH SOLE 50000 0 0 D BANKNORTH GROUP INC COM STK NE COMMON STOCK 06646R107 3389 170000 SH SOLE 170000 0 0 D BOSTON PRIVATE BANCORP INC COMMON STOCK 101119105 1739 87500 SH SOLE 87500 0 0 D BOSTONFED BANCORP INC COM COMMON STOCK 101178101 574 27500 SH SOLE 27500 0 0 D CAPITAL BANK CORP COMM COMMON STOCK 139793103 1199 137000 SH SOLE 137000 0 0 D CHARTER ONE FINL INC COM COMMON STOCK 160903100 1155 40000 SH SOLE 40000 0 0 D CHASE MANHATTAN CORP COM NEW COMMON STOCK 16161A108 2272 50000 SH SOLE 50000 0 0 D CITIGROUP INC COM STK COMMON STOCK 172967101 1447 28333 SH SOLE 28333 0 0 D COAST FED LITIGATION CONTIGENT RIGHTS 19034Q110 76 55000 SH SOLE 55000 0 0 D COASTAL BANCORP INC COM COMMON STOCK 19041P105 1920 80000 SH SOLE 80000 0 0 D COMMERCIAL BK N Y COM COMMON STOCK 201462108 1437 110000 SH SOLE 110000 0 0 D COMMUNITY SAVINGS BANKSHARES C COMMON STOCK 204037105 833 65000 SH SOLE 65000 0 0 D CRUSADER HOLDING CORP COM COMMON STOCK 228840104 400 66748 SH SOLE 66748 0 0 D CT BANCSHARES COM STK COMMON STOCK 207540105 548 30000 SH SOLE 30000 0 0 D DIGITAS INC COM STK COMMON STOCK 25388K104 203 40000 SH SOLE 40000 0 0 D DIME BANCORP INC NEW, COM COMMON STOCK 25429Q102 4139 140000 SH SOLE 140000 0 0 D DUTCHFORK BNCSH COM STK COMMON STOCK 26704P108 1561 110000 SH SOLE 110000 0 0 D EFUNDS CORP COM STK COMMON STOCK 28224R101 827 90000 SH SOLE 90000 0 0 D EQUITABLE BANK COM SKT COMMON STOCK 29444Q105 1245 88500 SH SOLE 88500 0 0 D ESPEED INC COM STK COMMON STOCK 296643109 282 18000 SH SOLE 18000 0 0 D EVEREST RE GROUP LTD COM STK COMMON STOCK G3223R108 1433 20000 SH SOLE 20000 0 0 D EVERTRUST FINL COM STK COMMON STOCK 300412103 1275 100000 SH SOLE 100000 0 0 D FINGER LAKES COM STK COMMON STOCK 31787C107 1500 200000 SH SOLE 200000 0 0 D FIRST FED FINANCIAL CORP COM COMMON STOCK 337907109 3150 97500 SH SOLE 97500 0 0 D FIRST FINL HLDGS INC COM COMMON STOCK 320239106 591 30000 SH SOLE 30000 0 0 D FIRST KANSAS FINANCIAL CORP COMMON STOCK 320651102 1406 112500 SH SOLE 112500 0 0 D FIRST REPUBLIC BANK COM COMMON STOCK 336158100 1650 50000 SH SOLE 50000 0 0 D FIRST STERLING SEE CUSIP 56034 COMMON STOCK 33709Q107 692 55600 SH SOLE 55600 0 0 D FNB CORP/NORTH CAROLINA COMMON STOCK 302519103 1169 96900 SH SOLE 96900 0 0 D FREDDIE MAC USD0.21 COM COMMON STOCK 313400301 344 5000 SH SOLE 5000 0 0 D GOLDEN STATE BANCORP COM STK COMMON STOCK 381197102 2672 85000 SH SOLE 85000 0 0 D GOLDEN STATE BANCORP LITIG WT WARRANTS 381197136 119 100000 SH SOLE 100000 0 0 D HIGH COUNTRY BANCORP INC COMMON STOCK 42965Q107 1312 99000 SH SOLE 99000 0 0 D HINGHAM INSTN SVGS MASS COMMON STOCK 433323102 168 10000 SH SOLE 10000 0 0 D INDEPENDENT BANK CORP MICH COMMON STOCK 453838104 2863 144950 SH SOLE 144950 0 0 D INDYMAC BANCORP, INC COM STK COMMON STOCK 456607100 1033 35000 SH SOLE 35000 0 0 D JEFFERSON PILOT CORP COM COMMON STOCK 475070108 755 10100 SH SOLE 10100 0 0 D KEYCORP NEW COM OPTIONS - CALLS 4932670CW 280 10000 SH CALL SOLE 10000 0 0 D LEHMAN BROTHERS HLDGS INC COM COMMON STOCK 524908100 2029 30000 SH SOLE 30000 0 0 D LINCOLN BANCORP COM STK COMMON STOCK 532879103 1515 120000 SH SOLE 120000 0 0 D MELLON FINANCIAL CORP COMMON STOCK 58551A108 2951 60000 SH SOLE 60000 0 0 D MERRILL LYNCH & CO INC USD1.33 COMMON STOCK 590188108 341 5000 SH SOLE 5000 0 0 D MYSTIC FINANCIAL INC COM COMMON STOCK 628643108 1553 114500 SH SOLE 114500 0 0 D NORTH FORK BANCORPORATION COMMON STOCK 659424105 737 30000 SH SOLE 30000 0 0 D NORTH VALLEY BANCORP COM COMMON STOCK 66304M105 1275 100000 SH SOLE 100000 0 0 D PACIFIC CREST CAP INC COM COMMON STOCK 694166109 2372 165000 SH SOLE 165000 0 0 D PNC FINANCIAL SERVICES GRP COMMON STOCK 693475105 1827 25000 SH SOLE 25000 0 0 D PORT FINANCIAL CORP COM STK COMMON STOCK 734119100 1371 77500 SH SOLE 77500 0 0 D PRESIDENTIAL LIFE CORP COM COMMON STOCK 740884101 1352 90500 SH SOLE 90500 0 0 D PROSPERITY BANCSHARES, INC COMMON STOCK 743606105 758 38400 SH SOLE 38400 0 0 D PROVIDENT FIANANCIAL GROUP INC COMMON STOCK 743866105 1313 35000 SH SOLE 35000 0 0 D REPUBLIC BANCORP INC COMMON STOCK 760282103 541 50000 SH SOLE 50000 0 0 D SIEBEL SYS INC COM COMMON STOCK 826170102 1183 17500 SH SOLE 17500 0 0 D SILICON VALLEY BANCSHARES DELA COMMON STOCK 827064106 961 27800 SH SOLE 27800 0 0 D SKY FINL GROUP INC COM COMMON STOCK 83080P103 1047 62500 SH SOLE 62500 0 0 D SOUTHSIDE CAPITAL TRUST II PFRD STK CONV SU 84471C206 506 50000 SH SOLE 50000 0 0 D SOUTHTRUST CORP COM COMMON STOCK 844730101 407 10000 SH SOLE 10000 0 0 D SOVEREIGN BANCORP INC OPTIONS - CALLS 8459051AA 650 80000 SH CALL SOLE 80000 0 0 D SUMMIT BANCORP COM COMMON STOCK 866005101 1909 50000 SH SOLE 50000 0 0 D SUPERIOR FINANCIAL CORP DEL COMMON STOCK 868161100 1969 180000 SH SOLE 180000 0 0 D THISTLE GROUP HLDGS CO COMMON STOCK 88431E103 1280 160000 SH SOLE 160000 0 0 D TOTAL SYS SVCS INC COM COMMON STOCK 891906109 468 20900 SH SOLE 20900 0 0 D TRENWICK GROUP LTD COMMON STOCK G9032C109 1628 65600 SH SOLE 65600 0 0 D TUCKER ANTHONY SUTRO COM STK COMMON STOCK 898647102 639 26000 SH SOLE 26000 0 0 D UMPQUA HOLDINGS CORP COMMON STOCK 904214103 846 99500 SH SOLE 99500 0 0 D UNION ACCEPTANCE CORP COM COMMON STOCK 904832102 468 110000 SH SOLE 110000 0 0 D WAYPOINT FINL COM STK COMMON STOCK 946756103 2145 195000 SH SOLE 195000 0 0 D WELLS FINL CORP COM COMMON STOCK 949759104 183 11500 SH SOLE 11500 0 0 D WILLIS LEASE FINANCE CORP COM COMMON STOCK 970646105 1505 150500 SH SOLE 150500 0 0 D WINTRUST FINCL CORP COM COMMON STOCK 97650W108 295 18500 SH SOLE 18500 0 0 S REPORT SUMMARY 76 DATA RECORDS 97044 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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